4QC –Tampere 27-29 September 2006

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"Quality management in European Public administrations with the

Common Assessment Framework

Patrick Staes

EIPA CAF Resource Centre OSLO, 16 Oktober 2006

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4QC –Tampere 27-29 September 2006

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Content

1. Introduction 2. The headlines

3. CAF 2006 : the structure 4. CAF 2006 : the scoring

5. Guidelines for organisational improvement with CAF 6. Benchlearning

7. Guidelines and glossary

8. CAF Works: better service for the citizens by using CAF 9. Perspectives for the future

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Origin and evolution of the CAF (1)

Designed by the IPSG working group (EUPAN network)

Launched at the 1st European Quality Conference, May 2000, Lisbon

Presentation of the CAF 2002 version at the 2nd European Quality Conference, October 2002 Copenhagen

3 CAF Workshops at the 3d European Quality Conference, September 2004 Rotterdam

Introduction

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CAF 2006 version launched at the 4th European Quality Conference in September 2006 in Tampere, Finland

Used in different European Countries in the context of their national Quality Conferences (Belgium, Denmark,

Finland, Norway, Germany, Portugal, Italy, Czech Republic, Slovakia, Hungary etc.)

ca. 1000 CAF applications end 2005

CAF model translated into 19 languages

Origin and evolution of the CAF (2)

Introduction

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Bosnia-

Herzegovina (16) Sweden (5);

Norway (18)

Latvia(1);

Cyprus (5);

Czech Republic (51)

Romania(1);

Spain (6);

Slovenia (36)

EU Commission (1) Lithuania (7);

Austria (47)

EU Institutions (2) Finland (9);

Germany (45)

the UK (2) France (9);

Denmark (64)

Ireland (2);

Slovakia (12);

Portugal (81)

Greece (3) Estonia (14)

Italy (132)

Poland (5) Hungary (15);

Belgium (185)

CAF RC: 777 registred users from 29 countries

Other countries: Turkey, South Korea, Namibia,

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To introduce public administration to the principles of TQM and progressively guide them, through the use and

understanding of self-assessment, from the current “Plan- Do” sequence of activities to a full fledged “PDCA” cycle;

To facilitate the self-assessment of a public organisation in order to obtain a diagnosis and improvement actions;

To act as a bridge across the various models used in quality management;

To facilitate bench learning between public sector organisations.

Objectives of the CAF

Introduction

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Permanent mobilization of all the resources

(especially the people) to improve in a continuous way:

all the aspects of the functioning of an organisation

the quality of goods and services

the satisfaction of its stakeholders

its integration into the environment Total quality Management - TQM

Introduction

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In the surveys and at the Users Events in 2003 and 2005, users indicated areas of improvement

increase coherence and simplicity

increase users friendliness by improving the examples and developing the glossary

a more fine-tuned scoring for some users

broadening of the approach with guidelines for the planning of improvement actions and

guidelines for bench learning

March 2005: the network of national CAF correspondents decides to revise the CAF 2002

Why revise the CAF 2002

Introduction

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The headlines

More attention for underlying concepts and values of CAF:

European values, specificity of the public sector

environment, principles of excellence, contribution to good governance

More emphasis on modernisation, innovation and change

The holistic character of the model and the internal cross connections

General introduction to CAF 2006

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The people

The citizen/customer The society

depend very much

The leadership

The strategy and the planning

The People

The partnerships and the Resources

The processes

The results obtained by

The harmonious interaction between all these elements – through innovation and learning - delivers excellent results in the field of the key performances of the organisation

on the role played by The CAF model shows that

Logics of the model

The headlines

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1. results orientation 2. customer focus

3. leadership and constancy of purpose 4. management by processes and facts 5. involvement of people

6. continuous improvement and innovation 7. mutually beneficial partnerships

8. corporate social responsibility

The 8 principles of excellence

The headlines

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1. Democratic responsiveness/accountability 2. Legalistic, legal and regulatory framework 3. Communicating with the political level

4. Involvement of stakeholders and balancing of their needs 5. Excellent in service delivery

6. Value for money

7. Achievement of objectives

8. Management of modernisation, innovation and change

Public administration context

The headlines

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CAF structure

Revision of criteria and subcriteria

Reformulating the introduction to the criteria

Appropriate examples

CAF 2006 : the structure

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CAF 2006

Leadership

Key Performance

Results Processes

People

Strategy &

Planning

Partnerships

& Resources

Society Results Citizen/Customer

-Oriented Results People Results

ENABLERS RESULTS

INNOVATION AND LEARNING

Comparison CAF 2002- CAF 2006 : the structure

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1. Leadership

1.1. Provide direction for the organisation by developing its

mission, vision and values

1.4. Manage the relations

with politicians and other stakeholders

1.3. Motivate and support the people in the organisation

1.2. Develop and implement a system for the management of organisation,

performance and change

How the leaders Results

6-7-8-9

CAF 2006 - criterion 1

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2. Strategy and Planning

2.4. Plan, implement and review modernisation and innovation 2.1. Gather information relating to present and

future needs of stakeholders

2.3. Implement strategy and planning throughout the whole organisation

9. Key performance Results

CAF 2006 - criterion 2

2.2. Develop, review and update strategy and planning taking into account the needs of the stakeholders and the available resources

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CAF 2006 - criterion 3

3. People

3.3 Involve employees by developing open dialogue and empowerment

3.2 Identify, develop, and use competencies of the employees,

aligning individual and organisational goals

3.1. Plan, manage and improve human resources transparently

7. People results CAF 2006 : the structure

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CAF 2006 - criterion 4

4. Partnerships and Resources

4.2. Develop and

implement partnerships with the citizens/customers

4.1. Develop and implement key partnership relations

4.3. Manage finances

4.4. Manage information and knowledge

4.5. Manage technology

9. Key performance results

4.6. Manage facilities 6.Citizen/customer

oriented results

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5. Processes

5.1. Identify, design, manage and improve processes on an ongoing basis

5.3. Innovate processes involving the customers/citizens

5.2. Develop and deliver customer-oriented services

and products

9. Key performance results

CAF 2006 - criterion 5

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6. Citizen/customer oriented results

6.1. Results of customer/citizen satisfaction measurements

6.2. Indicators of customer/citizen-oriented

results

CAF 2006 - criterion 6

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7. People results

7.1. Results of people satisfaction and motivation

measurements

7.2. Indicators of people results

CAF 2006 - criterion 7

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8. Society results

8.1. Results of societal

measurements perceived by the stakeholders

8.2. Indicators of societal performance established by the

organisation

CAF 2006 - criterion 8

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9. Key performance results

9.1. External results:

outputs and outcomes to goals

9.2. Internal results:

Results in the field of management, innovation and

finances

CAF 2006 - criterion 9

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28 instead of 27 sub criteria

Sub criteria of leadership and strategy strengthen their role in strategic change management

Focus on the continuous improvement of the processes

Attention for output and outcome in the key performance results

Summary

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Scoring: classical ~ and fine-tuned ~

Scoring on 100 instead of 5 for reasons of benchmarking

PDCA as driver for continuous improvement even more in the focus

2 types of scoring, free to choose

Classical CAF scoring: more clear wording, one level of PDCA assessed

Fine tuned scoring : allows more output from the scoring but demands more input, all levels of PDCA assessed

CAF 2006 : the scoring

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CAF 2006 - Enablers classical assessment panel

5 91-100

Everything we do, we plan, implement and adjust regularly and we learn from others. We are in a continuous improvement cycle on this issue.

PDCA

4 71-90

On the basis of checking/reviews we adjust if necessary.

ACT

3 51-70

We check/review if we do the right things in the right way.

CHECK

2 31-50

We are implementing/doing this.

DO

1 11 – 30

We have a plan to do this.

PLAN

0 0 – 10

We are not active in this field

We have no information or very anecdotal.

2002 Score

ENABLERS PANEL Phase

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SCORE /100 Total /400 Score

ACT

Score CHECK

Score DO

Score PLAN

Evidences related to all areas, with excellent rating compared with others

Evidences related to all areas, with very good rating Evidences

related to most areas,

with good Evidences

related to relevant areas, with average rating Some evidence

with low rating, related to some

areas No evidence or

with very low rating Evidence

91-100 71 - 90

51- 70 31-50

11- 30 0-10

Scale PHASE

CAF 2006 - Enablers fine tuned assessment panel CAF 2006 : the scoring

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Correction and improvement actions are taken following the check results throughout the relevant parts of the organisation on a regular basis

ACT

Defined processes are monitored with relevant indicators and reviewed throughout the relevant parts of the

organisation on a regular basis CHECK

Execution is managed through defined processes and

responsibilities and diffused throughout the relevant parts of the organisation on a regular basis

DO

Planning is based on stakeholders’ needs and expectations.

Planning is deployed throughout the relevant parts of the organisation on a regular basis.

PLAN

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30 30

Score ACT 1d

40 40

Score CHECK 1d

20 20

Score

1a 1c

1b DO 1d

30 30

Score

1c 1a

1d 1b

PLAN

Evidences related to all areas, with excellent rating compared with others

Evidences related to all areas, with very good rating Evidences

related to most areas,

with good Evidences

related to relevant areas, with average rating Some evidence

with low rating, related to some

areas No evidence or

with very low rating Evidence

91-100 71 - 90

51- 70 31-50

11- 30 0-10

Scale PHASE

CAF 2006 - Enablers fine tuned assessment panel : an example for sub criterion 1.1

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CAF 2006 Results classical assessment panel

5 91-100

Excellent and sustained results are achieved. All the relevant targets are met.

Positive comparisons with relevant organisations for all the key results are made.

4 71-90

Results show substantial progress

and/or all the relevant targets are met.

3 51-70

Results show improving trends

and/or most of the relevant targets are met.

2 31-50

Results show flat trends

and/or some relevant targets are met.

1 11 – 30

Results are measured and show negative trends and/or results do not meet relevant targets.

0 0 – 10

No results are measured

and/or no information is available.

Level 2002 Score

RESULTS PANEL

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Total/200 Score

All the targets are met

Most of the relevant targets are met

Some relevant targets are met

Few targets are met

Results do not meet targets No or

anecdotal information TARGETS

Score

Positive

comparison with relevant

organisations for all results

Substantial progress Sustained

progress Flat trend or

modest progress Negative

trend No measure-

ment TRENDS

91-100 71-90

51-70 31-50

11-30 0-10

Scale

RESULTS PANEL

CAF 2006 Results classical assessment panel

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Score/100 55

110 Total/200

65 Score

All the targets are met

Most of the relevant targets are met

Some relevant targets are met

Few targets are met

Results do not meet targets No or

anecdotal information TARGETS

45 Score

Positive

comparison with relevant

organisations for all results

Substantial progress Sustained

progress Flat trend or

modest progress Negative

trend No measure-

ment TRENDS

91-100 71-90

51-70 31-50

11-30 0-10

Scale

RESULTS PANEL

CAF 2006 Results classical assessment panel: an example for sub criterion 9.1

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Phase 1 – The start of the CAF journey

Step 1 Decide how to organise and plan the self-assessment Step 2 Communicate the self-assessment project

Phase 2 – Self-Assessment Process

Step 3 Compose one or more self-assessment groups Step 4 Organise training

Step 5 Undertake the self-assessment

Step 6 Draw up a report describing the results of self-

Guidelines for organisational improvement with CAF

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Phase 3 – Improvement plan/ prioritisation

Step 7 Draft an improvement plan, based on the accepted self-assessment report

Step 8 Communicate the improvement plan Step 9 Implement the improvement Plan Step 10 Plan next self-assessment

Guidelines for organisational improvement with CAF

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Benchlearning

Definition: from benchmarking to bench learning

CAF and bench learning

Bench learning cycle and project

Plan

Collect, measure and compare

Analyse

Adapt

Evaluate and repeat

Potential pitfalls

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Glossary

from 50 to 91 items

more information per item: on average 5 lines rather than 2

(clear) language

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The CAF cases and sectors of activity in detail

Sectors of Activity

0 1 2 3 4 5 6 7

s, T ax and F

inances

om y and A

griculture

Health Social Se

rvices

Education, Music, A rt

ional Administration Local

Ad

ministration ort an

d Infrastructure

Number of CAF-Cases

CAF Works: better service for the citizens by using CAF

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Some conclusions on the cases (1)

CAF provides a framework for introducing public management strategy and tools

The view and understanding on mission and vision has to be sharpened

CAF assessments reveal

- the lack of results

- weaknesses in existing results

- sometimes poor methods of measurement

29 cases show that CAF self-assessment leads to measurable improvements

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Some conclusions on the cases (2)

Innovative improvement actions are mostly related to the usage of modern ICT

Job descriptions, skill profiles, job interviews, target setting etc. as aspects of modern HRM lead to better results in criterion 7

Open information and communication policies inside and outside the organisation contribute to a fresh, modern culture of organisations

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General conclusions on CAF

CAF works – only if the management encourages and stands by the self-assessment

Using CAF leads to better results for the organisation

CAF motivates people

CAF needs transparency and openness

The awarding of scores is not the most important part of the self-assessments; defining improvement actions and

benchlearning is most essential

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General conclusions on CAF

Quality management with CAF is a continous process

The CAF self-assessment is an eye-opener for the linkages

between enablers and results within the complex system of an organisation

CAF requires an introduction in certain concepts of public

management and governance which are not in common use in everyday life – experienced moderation is helpful

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Perspectives for the future (1)

• Mid Term Programme : 2010 registered CAF users by 2010:

• Register actual and future users

• New users

• New Action plan 2007- 2008 at the end of 2006

• Registration of CAF as a Community Trademark (CTM)

• CAF Centre at 4QC (Tampere, 27-29 September 2007)

• 3^rd CAF Users Event (Lisbon, 11-12 October 2007)

• Further development CAF eCommunity and good practices database (www.eipa.eu)

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• CAF newsletter

• CAF and other quality instruments (BSC, EFQM)

• CAF in different sectors (CAF and Justice, Education, Local administration ...)

• Learning tools: eLearning, DVD

• Networks in specific countries (e.g. Belgium)

4QC –Tampere 27-29 September 2006

Common Assessment Framework

Content

Origin and evolution of the CAF (1)

Origin and evolution of the CAF (2)

Permanent mobilization of all the resources

(especially the people) to improve in a continuous way:

 all the aspects of the functioning of an organisation

 the quality of goods and services

 the satisfaction of its stakeholders

 its integration into the environment Total quality Management - TQM

Why revise the CAF 2002

The headlines

General introduction to CAF 2006

Logics of the model

The 8 principles of excellence

Public administration context

CAF structure

CAF 2006

CAF 2006 - criterion 1

CAF 2006 - criterion 2

CAF 2006 - criterion 3

CAF 2006 - criterion 4

CAF 2006 - criterion 5

CAF 2006 - criterion 6

CAF 2006 - criterion 7

CAF 2006 - criterion 8

CAF 2006 - criterion 9

Scoring: classical ~ and fine-tuned ~

Benchlearning

Glossary

The CAF cases and sectors of activity in detail

Some conclusions on the cases (1)

Some conclusions on the cases (2)

General conclusions on CAF

General conclusions on CAF

Perspectives for the future (1)

Perspectives for the future (2)

all the aspects of the functioning of an organisation

the quality of goods and services

the satisfaction of its stakeholders

its integration into the environment Total quality Management - TQM